Regulatory Operations Analyst

Our Client, a Global Financial Services Firm, is seeking a Regulatory Reporting Analyst in their St. Petersburg, Florida location.

Under minimal supervision, supports the monitoring and control of client assets, regulatory reporting, and compliance with industry and firm requirements. Partners with management to identify operational efficiencies, mitigate financial and regulatory risk, and support process improvements aligned to evolving rules and regulations. Contributes to regulatory interpretation, remediation efforts, and operational reporting to strengthen control environments and business performance.

• Monitor daily securities possession and control requirements to ensure compliance with SEC Customer Protection Rule (15c3-3); proactively communicate deficits and issues to lines of business
• Compile and review regulatory reporting data for Weekly Reserve and Monthly FOCUS reporting in accordance with 15c3-3 and 15c3-1 requirements
• Oversee operational suspense, clearance, inventory, and dealer accounts to ensure adherence to firm accounting policies and industry regulations
• Support interpretation and implementation of new or changing securities rules, policies, and regulatory requirements; update procedures accordingly
• Partner with internal teams and auditors (SEC, FINRA) to research, resolve, and document observations
• Plan and support remediation initiatives, corrective action plans, and testing strategies to strengthen operational controls
• Identify opportunities for operational efficiency and productivity improvements to reduce financial, reputational, and regulatory risk
• Develop operational performance reporting and scorecards, including trend analysis and recommendations for leadership
• Perform quality reviews of reconciliation activities to ensure accuracy, completeness, and timely resolution of discrepancies
• Support quarterly verification of physical securities and participate in cross-functional initiatives and projects

• Brokerage operations and Operations Control frameworks
• SEC and FINRA regulations, including Customer Protection and Net Capital rules
• Regulatory reporting, accounting principles, and financial markets
• Operational testing methodologies and risk/control environments

• Quality control and reconciliation oversight
• Process evaluation, risk identification, and control design
• Procedure documentation and workflow optimization
• Testing strategy execution and operational analysis
• Microsoft Office 365 (Excel, Access, PowerPoint) and reporting tools

• Ability to interpret financial and brokerage regulations with minimal guidance
• Strong analytical and numerical problem-solving skills
• Effective stakeholder collaboration and influence across business partners
• Ability to manage multiple priorities in fast-paced environments while meeting deadlines
• Commitment to high-quality service and operational excellence

• Bachelor’s degree in Accounting, Finance, Business, or related field
• Minimum 2+ years of experience in accounting, banking, or financial services